MEDIATION PROCEDURES The following represents a protocol for

							                             MEDIATION PROCEDURES

The following represents a protocol for conducting mediation under the new law. Use it
as a guide, adjusting it according to the circumstances and your experience as a
mediator.

MEDIATOR ASSIGNMENT and INITIAL CONTACT

1.    Impasse request is filed with IEERB, either telephonically or e-mail.
      IEERB declares impasse on September 30. Parties will use the following e-mail:
      IMPASSE@IEERB.IN.GOV
2.    IEERB staff determines locale and contacts potential ad hoc panelist who
      is available for assignment as mediator.
3.    Receptionist assigns a case number and prepares an appointment letter which
      contains the parties’ contact information – mail/fax/e-mail to party reps and
      mediator assigned.
4.    After appointment, contact both parties to introduce yourself and establish a
      meeting date/time of your choice.
5.    Explain the statutory timelines and why dates/times may be imposed (see
      “STATUTORY TIMELINES/RESTRICTIONS” below). You must complete
      the process in a timely manner.
5.    Ask the parties for a summary of the issues and their positions on each issue.
      Probe the possibility of movement and the chance of success.
6.    Refer the parties to the IEERB website and ask that they review the documents
      that relate to mediation and preparation for fact-finding. Since mediation must
      end in either settlement or a Last Best Offer for fact-finding, it is critical the
      parties understand these documents.
7.    Form an opinion about their knowledge of the law and their willingness to make
      progress in mediation.

STATUTORY TIMELINES/RESTRICTIONS

1.    A mediator shall begin mediation within fifteen (15) days after the board receives
      notice of impasse.
2.    Mediation must consist of not more than three (3) mediations sessions and must
      result in one (1) of the following:
             An agreement between the parties on the items permitted to be bargained
              under section 4 of this chapter.
             Each party’s last best offer, including fiscal rationale, related to items
              permitted to be bargained under section 4 of this chapter. Keep in mind:
              If no settlement is reached, the mediation must end with both sides
              submitting their Last Best Offer (LBO) to IEERB.
3.    Mediation shall be completed within thirty (30) days.

PREPARATION for and CONDUCT of MEDIATION SESSIONS

1.   Ask both parties to form a new proposal that moves toward settlement (give them a


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     strict deadline, such as 2 days).
2.   When you receive both proposals, cross email them to the other party and ask that
     each study the other's offer prior to the commencement of the first mediation
     session.
4.   Proceed with the first mediation session and work for settlement. School
     corporations are not restricted to DOE & DLGF approved General Fund revenues
     during the mediation process. DO NOT suggest to either side to pursue deficit
     financing to settle the agreement. (School corporations CAN use their financial
     knowledge and available resources outside of the approved DOE and DLGF
     General Fund resources, if available.)
5.   Explain that you will assist them but you are not responsible for the accuracy of
     their proposals, that you cannot give legal advice, and that you cannot interpret
     their budgets for them. Don’t suggest what they can afford.
6.   Use the new restrictions on factfinding (i.e. CAN’T go beyond DOE & DLGF
     approved General Fund revenues) to encourage settlement.
7.   Do not consider any items beyond Section 4 items (salary, wages, and salary and
     wage related fringe benefits, including accident, sickness, health, dental, vision,
     life, disability, retirement benefits, and paid time off). Salary and wages include
     the amount of pay increases available to employees under the salary scale adopted
     under IC 20-28-9-1, but do not include the teacher evaluation procedures and
     criteria, or any component of the teacher evaluation plan. May include recognition
     statement and may include a grievance procedure.
8.   Toward the end of the session, make another arrangement for prepping new offers
     and emailing them to you, repeating the cross serving and request to study prior to
     the second session. Inform the parties that you are looking for substantive
     movement. At the end of the first session, discuss the Last Best Offer, which must
     be ready for delivery to IEERB if settlement does not occur.
9.   Remind the parties by the end of the first session that all LBOs must include:
      Narrative that describes the last, best offer and the effect on the school
         corporation’s General Fund Budget
              o Must include last, best offer and fiscal rationale
              o (from corporation) Must state the total dollar amount of the General
                 Fund for years in dispute
              o (from corporation) Must include the total dollar amount of the General
                 Fund for years in dispute as certified by DOE and DLGF
      (from corporation) A signed Certification Sheet, verifying all information
         submitted is correct and including a statement as follows: “The last best offer
         does not place the employer in a position of deficit financing due to a reduction
         in the employer’s actual General Fund revenue for [year] or an increase in the
         employer’s expenditures when the expenditures exceed the employer’s current
         year actual General Fund revenue for [year].”
      (from exclusive representative) A signed Certification Sheet, verifying all
         information is correct and including a statement as follows: “The last best offer
         from the exclusive representative does not place the employer in a position of
         deficit financing due to a reduction in the employer’s actual General Fund
         [year] revenue or an increase in the employer’s expenditures when the



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        expenditures exceed the employer’s current year actual General Fund revenue
        for [year].”
10.   At the second session, make any progress possible. If no settlement occurs move
      to the submission of the LBO. Do not schedule a third session unless settlement
      seems imminent or there is a valid reason why the parties cannot proceed to
      settlement during the second session. If settlement does not occur, remind the
      parties that they are required to submit their LBOs to IEERB within 2 days of the
      end of the mediation.
11.   Talk with the parties about fact-finding and preparing the LBO. Refer them to
      the IEERB website for answers to their questions and for the requirements and
      timelines associated with LBOs. Remind them to check the documents on the
      IEERB website (again).
12.   If no settlement by the conclusion of the mediation, encourage the parties to
      settle on their own, after mediation but before the actual fact-finding hearing.
      Tell them to make sure they inform the IEERB immediately if a settlement is
      reached.

CONCLUDING the CASE

1.    Immediately inform the IEERB as to whether a settlement was reached. Note
      that future case assignments for mediators will not hinge on whether or not
      settlement is achieved.
2.    If there is a settlement, make sure the parties schedule an immediate ratification
      and make sure you make arrangements to confirm such ratification occurred. If
      they wait for the next Board meeting (previously was common practice), may not
      have time for factfinding (which means they are non-compliant with the statute –
      not a good position!). Remind them that they are required to submit their
      contract to IEERB within 30 days of ratification.
3.    Complete ad hoc claims worksheet and submit for approval/payment. (Chairman
      will approve all worksheets, then submit to our accountant. It will take 30 days
      to process all claims.) Per diem rates will be based on an 7.5 hour workday. Time
      worked will be billed to the parties on an hourly basis.




Shared/SB 575/Mediation/Mediation Procedures Master 121911                        Page 3